Organization | • | Illinois Secretary of State. Securities Department | [X] |
| | 1: | | Title: | | | | | Volume/Number: | 2009 July | | | | Issuing Agency: | | | | | Description: | To begin the process of registration as a securities dealer in the State of Illinois, an applicant must file the following forms and fees in the manner described with either the Financial Industry Regulatory Authority (FINRA) or the Illinois Securities Department. | | | | Date Created: | 07 06 2009 | | | | Agency ID: | SEC 312.3 | | | | ISL ID: | 000000044035 Original UID: 23543 FIRST WORD: Instructions | |
| 2: | | Title: | | | | | Volume/Number: | 2009 May | | | | Issuing Agency: | | | | | Description: | The Form U5 is the Uniform Termination Notice for Securities Industry Registration. | | | | Date Created: | 05 12 2009 | | | | Agency ID: | Rev. Form U5 | | | | ISL ID: | 000000044036 Original UID: 23544 FIRST WORD: Form | |
| 3: | | Title: | | | | | Volume/Number: | | | | | Issuing Agency: | | | | | Description: | The Uniform Branch Office Registration Form (Form BR) is the form used for branch office registration, notification, closing or withdrawal. Broker-dealers and investment advisers must use this form to register or notice file their branch offices in the appropriate jurisdictions and/or with SROs. These instructions apply to the filing of Form BR electronically with the Central Registration Depository ("CRD"). Filers submitting paper filings should read the Special Instructions For Paper Filers (Jurisdictions Only) in conjunction with the other instructions to the form. | | | | Date Created: | 08 22 2007 | | | | Agency ID: | Rev. Form BR | | | | ISL ID: | 000000044037 Original UID: 23545 FIRST WORD: Form | |
| 4: | | Title: | | | | | Volume/Number: | 2002 February | | | | Issuing Agency: | | | | | Description: | The Illinois Business Brokers Act of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and business brokers doing business in the state of Illinois. | | | | Date Created: | 04 10 2002 | | | | Agency ID: | Sec Pub-6.3 | | | | ISL ID: | 000000044038 Original UID: 23546 FIRST WORD: Illinois | |
| 5: | | Title: | | | | | Volume/Number: | 2009 July | | | | Issuing Agency: | | | | | Description: | A listing of documents that must be filed with the Securities Department to register as a Business Broker in the State of Illinois. | | | | Date Created: | 07 16 2009 | | | | Agency ID: | SEC 315.1 | | | | ISL ID: | 000000044056 Original UID: 23548 FIRST WORD: Information | |
| 6: | | Title: | | | | | Volume/Number: | 2007 August | | | | Issuing Agency: | | | | | Description: | The Illinois Business Opportunity Sales Law of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and business opportunity providers doing business in the state of Illinois. | | | | Date Created: | 08 08 2007 | | | | Agency ID: | Sec Pub 7.3 | | | | ISL ID: | 000000044057 Original UID: 23549 FIRST WORD: Business | |
| 7: | | Title: | | | | | Volume/Number: | 2005 April | | | | Issuing Agency: | | | | | Description: | List of information that must be filed with the Securities Department to register a Business Opportunity in the State of Illinois. | | | | Date Created: | 04 22 2005 | | | | Agency ID: | SEC 310 | | | | ISL ID: | 000000044058 Original UID: 23551 FIRST WORD: Information | |
| 8: | | Title: | | | | | Volume/Number: | 2004 February | | | | Issuing Agency: | | | | | Description: | The Illinois Securities Law of 1953, including amendments through Aug. 21, 2003.This law governs the offer and sale of securities in Illinois as well as broker-dealers, salespersons, investment advisers and investment adviser representatives. | | | | Date Created: | 08 18 2004 | | | | Agency ID: | | | | | ISL ID: | 000000044059 Original UID: 23554 FIRST WORD: Illinois | |
| 9: | | Title: | | | | | Volume/Number: | 2008 June | | | | Issuing Agency: | | | | | Description: | This booklet contains information on registration renewal, required documentation, and other information about maintaining your registration as an investment adviser and ensuring compliance with requirements of the Illinois Securities Law. | | | | Date Created: | 06 17 2008 | | | | Agency ID: | SEC 341 | | | | ISL ID: | 000000044060 Original UID: 23556 FIRST WORD: Guide | |
| 10: | | Title: | | | | | Volume/Number: | 2009 May | | | | Issuing Agency: | | | | | Description: | The Form U4 is the Uniform Application for Securities Industry Registration or Transfer. Representatives of broker-dealers, investment advisers, or issuers of securities must use this form to become registered in the appropriate jurisdictions and/or SROs. | | | | Date Created: | 05 12 2009 | | | | Agency ID: | Rev. Form U4 | | | | ISL ID: | 000000044061 Original UID: 23557 FIRST WORD: Form | |
| 11: | | Title: | | | | | Volume/Number: | 2002 March | | | | Issuing Agency: | | | | | Description: | This booklet contains the Illinois Loan Brokers Act of 1995, including recent amendments, effective Jan. 1, 2002. This Act provides an invaluable source of information for consumers and loan brokers doing business in the state of Illinois. | | | | Date Created: | 04 29 2002 | | | | Agency ID: | Sec Pub-5.3 | | | | ISL ID: | 000000044062 Original UID: 23558 FIRST WORD: Illinois | |
| 12: | | Title: | | | | | Volume/Number: | 2009 July | | | | Issuing Agency: | | | | | Description: | List or information that must be filed with the Securities Department to register as a Loan Broker in the State of Illinois. | | | | Date Created: | 07 16 2009 | | | | Agency ID: | SEC 326.2 | | | | ISL ID: | 000000044063 Original UID: 23559 FIRST WORD: Information | |
| 13: | | Title: | | | | | Volume/Number: | 2011 April | | | | Issuing Agency: | | | | | Description: | This brochure informs you about the warning signs of a business opportunity scam and what to expect when entering into a legitimate business deal. | | | | Date Created: | 04 20 2011 | | | | Agency ID: | Sec-280.3 | | | | ISL ID: | 000000044064 Original UID: 23560 FIRST WORD: Avoiding | |
| 14: | | Title: | | | | | Volume/Number: | 2011 August | | | | Issuing Agency: | | | | | Description: | Consumer protection fact sheet, in English and Spanish, for avioding con artists. | | | | Date Created: | 08 04 2011 | | | | Agency ID: | SEC 343.2 | | | | ISL ID: | 000000044065 Original UID: 23564 FIRST WORD: Facts | |
| 15: | | Title: | | | | | Volume/Number: | | | | | Issuing Agency: | | | | | Description: | Brochure for senior consumers to help identify investment fraud. | | | | Date Created: | 03 24 2011 | | | | Agency ID: | SEC 344 | | | | ISL ID: | 000000044066 Original UID: 23566 FIRST WORD: How | |
| 16: | | Title: | | | | | Volume/Number: | 2011 June | | | | Issuing Agency: | | | | | Description: | This guide outlines investment options, tips on selecting a broker or investment adviser and the warning signs of investor fraud. Included is a checklist for investors to use when a broker calls. | | | | Date Created: | 06 22 2011 | | | | Agency ID: | SEC PUB 9.5 | | | | ISL ID: | 000000044067 Original UID: 23567 FIRST WORD: Investment | |
| 17: | | Title: | | | | | Volume/Number: | 2011 April | | | | Issuing Agency: | | | | | Description: | Brochure about the Loan Brokers Act | | | | Date Created: | 04 20 2011 | | | | Agency ID: | Sec-284.3 | | | | ISL ID: | 000000044068 Original UID: 23569 FIRST WORD: Loan | |
| 18: | | Title: | | | | | Volume/Number: | 2010 July | | | | Issuing Agency: | | | | | Description: | This brochure provides some useful tips that can help protect you against securities fraud. | | | | Date Created: | 07 14 2010 | | | | Agency ID: | SEC 245.10 | | | | ISL ID: | 000000044069 Original UID: 23570 FIRST WORD: Senior | |
| 19: | | Title: | | | | | Volume/Number: | 2006 April | | | | Issuing Agency: | | | | | Description: | Brochure about TAPS a financial education program for military personnel. | | | | Date Created: | 04 24 2006 | | | | Agency ID: | SEC 336 | | | | ISL ID: | 000000044070 Original UID: 23572 FIRST WORD: TAPS: | |
| 20: | | Title: | | | | | Volume/Number: | 2006 January | | | | Issuing Agency: | | | | | Description: | Brochure for Online investors. | | | | Date Created: | 03 06 2006 | | | | Agency ID: | Sec-300.2 | | | | ISL ID: | 000000044071 Original UID: 23577 FIRST WORD: Tips | |
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